Senior Compliance Officer

Job Description

The Senior Compliance Officer supports the firm’s compliance program across its broker-dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm’s compliance initiatives and leads key operational components of the firm's compliance infrastructure.

Salary: 105k-115k

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to View email address on click.appcast.io learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:

Skills and Requirements

• Both Series 7 and Series 63

• Series 65 or the combination of 66 and 24 license

• Regulatory Inquiries, Exams & Responses

• Customer Complaints, Incidents & 4530 Reporting

• Arbitration, Disputes & Disclosure Filings

• Licensing, Registration & Onboarding Controls

• Compliance Training & Continuing Education (CE)

• Regulator & Internal Stakeholder Interaction • Experience overseeing compliance across BD, RIA, and insurance entities simultaneously

• Familiarity with compliance and surveillance systems

• Experience with heightened supervision programs

• Experience updating or enhancing Written Supervisory Procedures (WSPs)

• Background working in a fast‑growing or scaling financial services firm